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Robert Agriogianis

Some features on this profile are disabled
CRD#: 2190835
RA

Professional summary

Robert Agriogianis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Robert had worked at 6 firms, which includes VFINANCE INVESTMENTS INC, FIRST COLONIAL SECURITIES, ZA ASSOCIATES INC., VANGUARD CAPITAL, GRUNTAL & CO. L.L.C., LADENBURG THALMANN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allen Agriogianis | Bob Agriogianis | Bob Allen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 1, 2002 - April 18, 2006

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
FLORHAM PARK, NJ
Past

December 20, 2001 - January 1, 2002

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

February 1, 1999 - October 4, 2001

ZA ASSOCIATES, INC.

BD
CRD#: 7850
MORRISTOWN, NJ
Past

September 16, 1996 - February 2, 1999

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA
Past

May 3, 1995 - September 19, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 24, 1991 - May 9, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/1996
General Securities Principal Examination

Current Firm

VI
VFINANCE INVESTMENTS, INC
FIRST LEVEL CAPITAL, INC. | VFINANCE INVESTMENTS, INC | NEW WAVE SECURITIES, INC.

CRD#: 44962 / SEC#: , 8-50898

BD
Terminated by SEC on 05/11/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/14/1998
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VFINANCE INVESTMENTS HOLDINGSSHAREHOLDER
GROENEVELD, WILLIAM LAWRENCEHEAD TRADER, PRESIDENT, CEO2127534
GROENEVELD, WILLIAM LAWRENCEDIRECTOR2127534
JOHNSON, KAY ALISONCCO1583193
KNOPF, FRED NGENERAL COUNSEL6390806
MULLEN, MICHAEL ANTHONYDIRECTOR1428116
WATSON, NATALIA TOVARFINOP/CFO4782735

Disclosures

Regulatory Event27
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VFINANCE INVESTMENTS, INC

CRD#: 44962

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